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LPl Financial LLC CRD 6413
$819B regulatory AUM 209,600 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-09-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial | Corona | CA | 12/2015 | 09/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Corona | CA | 09/2017 | 05/2018 |
| Bank Of America, N.A. | Corona | CA | 09/2017 | 05/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Riverside | CA | 07/2018 | 09/2023 |
| Bank Of America, N.A. | Riverside | CA | 07/2018 | 09/2023 |
| Lpl Financial Llc | Corona | CA | 09/2023 | Present |
1) 05/13/2025 - Scott J Foties Lpl Financial LLC - Not Investment Related - Business Entity For Tax/Investment Purposes Only - Home Based - Start Date: 03/17/2025 - 160 Hrs/Mth - 160 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-10-08 |
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